Agency Information Collection Activities; Submission for OMB Review; Proposed Collection; Comment Request for Modified Qualified Trust Model Certificates and Model Trust Documents, 76293-76294 [2012-31140]
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Federal Register / Vol. 77, No. 248 / Thursday, December 27, 2012 / Notices
OFFICE OF GOVERNMENT ETHICS
Agency Information Collection
Activities; Submission for OMB
Review; Proposed Collection;
Comment Request for Modified
Qualified Trust Model Certificates and
Model Trust Documents
AGENCY:
Office of Government Ethics
(OGE).
ACTION:
Notice.
The U.S. Office of
Government Ethics (OGE) is publishing
this first round notice and seeking
comment on the twelve executive
branch OGE model certificates and
model documents for qualified trusts.
OGE intends to submit these forms to
the Office of Management and Budget
(OMB) for review and approval of a
three-year extension under the
Paperwork Reduction Act of 1995 (44
U.S.C. chapter 35). OGE is proposing
minor changes to update these forms.
DATES: Written comments by the public
and the agencies on this proposed
extension are invited and must be
received on or before February 25, 2013.
ADDRESSES: You may submit comments
to OGE on this paperwork notice by any
of the following methods:
Email: usoge@oge.gov. (Include
reference to ‘‘Qualified trust model
certificates and model trust documents
paperwork comment’’ in the subject line
of the message).
FAX: 202–482–9237.
Mail, Hand Delivery/Courier: U.S.
Office of Government Ethics, Suite 500,
1201 New York Avenue NW.,
Washington, DC 20005–3917, Attention:
Paul D. Ledvina, Agency Clearance
Officer.
SUMMARY:
Mr.
Ledvina at the U.S. Office of
Government Ethics; telephone: 202–
482–9247; TTY: 800–877–8339; FAX:
202–482–237; Email: pledvina@oge.gov.
The model Certificate of Independence
and model Certificate of Compliance for
qualified trusts are codified in
appendixes A and B to 5 CFR part 2634.
Appendix C of 5 CFR 2634 provides the
Privacy Act Statement for the model
certificates. Copies of the proposed
modified qualified trust model
certificates and the model trust
documents may be obtained, without
charge, by contacting Mr. Ledvina.
SUPPLEMENTARY INFORMATION: The Office
of Government Ethics intends to submit,
after this first round notice and
comment period, all twelve qualified
trust model certificates and model
documents described below (all of
which are included under OMB
tkelley on DSK3SPTVN1PROD with
FOR FURTHER INFORMATION CONTACT:
VerDate Mar<15>2010
16:53 Dec 26, 2012
Jkt 229001
paperwork control number 3209–0007)
for a three-year extension of approval by
OMB under the Paperwork Reduction
Act (44 U.S.C. chapter 35). At that time,
OGE will publish a second paperwork
notice in the Federal Register to inform
the public and the agencies. The current
paperwork approval for the model
certificates and model trust documents,
last granted by OMB in 2010, is
scheduled to expire at the end of
February 2013. OGE is proposing minor
changes to the twelve qualified trust
certificates and model documents at this
time. The proposed non-substantive
changes will update information in the
forms to reflect OGE’s recent
amendments to the executive branch
regulation regarding qualified trusts in
subparts D, E, and Appendixes A and B
of 5 CFR part 2634. See 77 FR 39123–
39150 (July 2, 2012). Other changes will
update agency telephone and FAX
contact numbers, and provide an
updated Privacy Act Statement on the
model trust documents reflecting
changes made to the OGE/GVT–1
System of Records 2003–2012. See 68
FR 3097–3109 (January 22, 2003), as
corrected at 68 FR 24744 (May 8, 2003),
76 FR 24489–24490 (May 2, 2011) and
77 FR 45353 (July 31, 2012). However,
these Privacy Act updates to OGE/GVT–
1 have not been incorporated into the
current version of the Privacy Act
Statement, 5 CFR part 2634 appendix C,
covering the Certificate of Independence
and Certificate of Compliance, 5 CFR
part 2634 appendixes A and B. OGE will
continue to inform users of the
certificates of the updates to the Privacy
Act Statement.
OGE is the supervising ethics office
for the executive branch of the Federal
Government under the Ethics in
Government Act of 1978 (EIGA).
Presidential nominees to executive
branch positions subject to Senate
confirmation and any other executive
branch officials may seek OGE approval
for EIGA qualified blind or diversified
trusts as one means to be used to avoid
conflicts of interest.
OGE is the sponsoring agency for the
model certificates and model trust
documents for qualified blind and
diversified trusts of executive branch
officials set up under section 102(f) of
the Ethics in Government Act, 5 U.S.C.
app. § 102(f), and OGE’s implementing
financial disclosure regulations at
subpart D of 5 CFR part 2634. The
various model certificates and model
trust documents are utilized by OGE
and settlors, trustees and other
fiduciaries in establishing and
administering these qualified trusts.
There are two categories of
information collection requirements that
PO 00000
Frm 00006
Fmt 4703
Sfmt 4703
76293
OGE plans to submit for renewed
paperwork approval, each with its own
related reporting model certificates or
model trust documents which are
subject to paperwork review and
approval by OMB. The OGE regulatory
citations for these two categories,
together with identification of the forms
used for their implementation, are as
follows:
i. Qualified trust certifications—5 CFR
2634.404(f) and (g), 2634.405(c) and (d),
2634.407, 2634.408(d)(4), 2634.410,
2634.414 and appendixes A and B to
part 2634 (the two implementing forms,
the Certificate of Independence and
Certificate of Compliance, are codified
respectively in the cited appendixes);
and
ii. Qualified trust communications
and model provisions and agreements—
5 CFR 2634.404(f), 2634.407(a),
2634.408(a)–(c), 2634.407 and 2634.414
(the ten implementing forms are the: (A)
Blind Trust Communications (Expedited
Procedure for Securing Approval of
Proposed Communications); (B) Model
Qualified Blind Trust Provisions; (C)
Model Qualified Diversified Trust
Provisions; (D) Model Qualified Blind
Trust Provisions (For Use in the Case of
Multiple Fiduciaries); (E) Model
Qualified Blind Trust Provisions (For
Use in the Case of an Irrevocable PreExisting Trust); (F) Model Qualified
Diversified Trust Provisions (Hybrid
Version); (G) Model Qualified
Diversified Trust Provisions (For Use in
the Case of Multiple Fiduciaries); (H)
Model Qualified Diversified Trust
Provisions (For Use in the Case of an
Irrevocable Pre-Existing Trust); (I)
Model Confidentiality Agreement
Provisions (For Use in the Case of a
Privately Owned Business); and (J)
Model Confidentiality Agreement
Provisions (For Use in the Case of
Investment Management Activities)).
The communications formats and the
confidentiality agreements (items ii.(A),
(I) and (J) above), once completed,
would not be available to the public
because they contain sensitive,
confidential information. All the other
completed model trust certificates and
model trust documents (except for any
trust provisions that relate to the
testamentary disposition of trust assets)
are retained and made publicly
available based upon a proper request
under EIGA (by filling out an OGE Form
201 access form) until the periods for
retention of all other reports (usually the
OGE Form 278 Public Financial
Disclosure Reports) of the individual
establishing the trust have lapsed
(generally six years after the filing of the
last other report). See 5 CFR
E:\FR\FM\27DEN1.SGM
27DEN1
tkelley on DSK3SPTVN1PROD with
76294
Federal Register / Vol. 77, No. 248 / Thursday, December 27, 2012 / Notices
2634.603(g)(2) of OGE’s executive
branch financial disclosure regulation.
The U.S. Office of Government Ethics
administers the qualified trust program
for the executive branch. At the present
time, there are no active filers using the
trust model certificates and documents.
However, OGE intends to submit to
OMB a request for extension of approval
for two reasons. First, under OMB’s
implementing regulations for the
Paperwork Reduction Act, at 5 CFR
1320.3(c)(4)(i), any recordkeeping,
reporting or disclosure requirement
contained in a sponsoring agency rule of
general applicability is deemed to meet
the minimum threshold of ten or more
persons. Second, OGE does anticipate
possible limited use of these forms
during the forthcoming three-year
period 2013–2016. Therefore, the
estimated burden figures, representing
branchwide implementation of the
forms, will remain the same as
previously reported by OGE in its prior
first and second round paperwork
renewal notice for the trust forms in
2009 (74 FR 47799–47801 (September
17, 2009) and 74 FR 62780–62782
(December 1, 2009)). The estimate is
based on the amount of time imposed
on a trust administrator or private
representative.
i. Trust Certificates:
A. Certificate of Independence: Total
filers (executive branch): 5; private
citizen filers (100%): 5; private citizen
burden hours (20 minutes/certificate): 2.
B. Certificate of Compliance: Total
filers (executive branch): 10; private
citizen filers (100%): 10; private citizen
burden hours (20 minutes/certificate): 3;
and
ii. Model Qualified Trust Documents:
A. Blind Trust Communications: Total
users (executive branch): 5; private
citizen users (100%): 5;
communications documents (private
citizens): 25 (based on an average of five
communications per user, per year);
private citizen burden hours (20
minutes/communication): 8.
B. Model Qualified Blind Trust: Total
users (executive branch): 2; private
citizen users (100%): 2; private citizen
burden hours (100 hours/model): 200.
C. Model Qualified Diversified Trust:
Total users (executive branch): 1;
private citizen users (100%): 1; private
citizen burden hours (100 hours/model):
100.
D.–H. Of the five remaining model
qualified trust documents: Total users
(executive branch): 2; private citizen
users (100%): 2; private citizen burden
hours (100 hours/model): 200.
I.–J. Of the two model confidentiality
agreements: Total users (executive
branch): 1; private citizen users (100%):
VerDate Mar<15>2010
16:53 Dec 26, 2012
Jkt 229001
1; private citizen burden hours (50
hours/agreement): 50.
However, the total annual reporting
hour burden on filers themselves is zero
and not the 563 hours estimated above
because OGE’s estimating methodology
reflects the fact that all respondents hire
private trust administrators or other
private representatives to set up and
maintain the qualified blind and
diversified trusts. Respondents
themselves, typically incoming private
citizen Presidential nominees, therefore
incur no hour burden. The estimated
total annual cost burden to respondents
resulting from the collection of
information is $1,000,000. Those who
use the model documents for guidance
are private trust administrators or other
private representatives hired to set up
and maintain the qualified blind and
diversified trusts of executive branch
officials who seek to establish such
qualified trusts. The cost burden figure
is based primarily on OGE’s knowledge
of the typical trust administrator fee
structure (an average of 1 percent of
total assets) and OGE’s experience with
administration of the qualified trust
program. The $1,000,000 annual cost
figure is based on OGE’s estimate of an
average of five possible active trusts
anticipated to be under administration
for each of the next two years with
combined total assets of $100,000,000.
However, OGE notes that the $1,000,000
figure is a cost estimate for the overall
administration of the trusts, only a
portion of which relates to information
collection and reporting. For want of a
precise way to break out the costs
directly associated with information
collection, OGE is continuing to report
to OMB the full $1,000,000 estimate for
paperwork clearance purposes.
Public comment is invited on each
aspect of the model qualified trust
certificates and model trust documents,
and underlying regulatory provisions, as
set forth in this notice, including
specific views on the need for and
practical utility of this set of collections
of information, the accuracy of OGE’s
burden estimate, the potential for
enhancement of quality, utility and
clarity of the information collected, and
the minimization of burden (including
the use of information technology).
Comments received in response to
this notice will be summarized for, and
may be included with, the OGE request
for extension of the OMB paperwork
approval for the set of the various
existing qualified trust model
certificates, the model communications
package, and the model trust
documents. The comments will also
become a matter of public record.
PO 00000
Frm 00007
Fmt 4703
Sfmt 4703
Approved: December 20, 2012.
Don W. Fox,
Acting Director, Office of Government Ethics.
[FR Doc. 2012–31140 Filed 12–26–12; 8:45 am]
BILLING CODE 6345–03–P
DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Office of the Secretary
[Document Identifier HHS–OS–18280–60D]
Agency Information Collection
Activities; Proposed Collection; Public
Comment Request
Office of the Secretary, HHS.
Notice.
AGENCY:
ACTION:
In compliance with section
3506(c)(2)(A) of the Paperwork
Reduction Act of 1995, the Office of the
Secretary (OS), Department of Health
and Human Services, announces plans
to submit an Information Collection
Request (ICR), described below, to the
Office of Management and Budget
(OMB). The ICR is for extending the use
of the approved information collection
assigned OMB control number 0990–
0308, which expires on June 30, 2013.
Prior to submitting that ICR to OMB, OS
seeks comments from the public
regarding the burden estimate, below, or
any other aspect of the ICR.
DATES: Comments on the ICR must be
received on or before February 25, 2013.
ADDRESSES: Submit your comments to
Information.CollectionClearance@
hhs.gov or by calling (202) 690–6162.
FOR FURTHER INFORMATION CONTACT:
Information Collection Clearance staff,
Information.CollectionClearance@
hhs.gov or (202) 690–6162.
SUPPLEMENTARY INFORMATION: When
submitting comments or requesting
information, please include the
document identifier HHS–OS–18280–
60D for reference.
SUMMARY:
Information Collection Request Title:
The Effect of Reducing Falls on Acute
and Long-Term Care Expenses
OMB No.: 0990–0308.
Abstract: The Office of the Assistant
Secretary for Planning and Evaluation
(ASPE) within the HHS Office of
Secretary is conducting a demonstration
and evaluation of a multi-factorial fall
prevention program to measure its
impact on health outcomes for the
elderly as well as acute and long-term
care use and cost. The study is being
conducted among a sample of
individuals with private long-term care
insurance who are age 75 and over using
a multi-tiered random experimental
E:\FR\FM\27DEN1.SGM
27DEN1
Agencies
[Federal Register Volume 77, Number 248 (Thursday, December 27, 2012)]
[Notices]
[Pages 76293-76294]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-31140]
[[Page 76293]]
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OFFICE OF GOVERNMENT ETHICS
Agency Information Collection Activities; Submission for OMB
Review; Proposed Collection; Comment Request for Modified Qualified
Trust Model Certificates and Model Trust Documents
AGENCY: Office of Government Ethics (OGE).
ACTION: Notice.
-----------------------------------------------------------------------
SUMMARY: The U.S. Office of Government Ethics (OGE) is publishing this
first round notice and seeking comment on the twelve executive branch
OGE model certificates and model documents for qualified trusts. OGE
intends to submit these forms to the Office of Management and Budget
(OMB) for review and approval of a three-year extension under the
Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35). OGE is
proposing minor changes to update these forms.
DATES: Written comments by the public and the agencies on this proposed
extension are invited and must be received on or before February 25,
2013.
ADDRESSES: You may submit comments to OGE on this paperwork notice by
any of the following methods:
Email: usoge@oge.gov. (Include reference to ``Qualified trust model
certificates and model trust documents paperwork comment'' in the
subject line of the message).
FAX: 202-482-9237.
Mail, Hand Delivery/Courier: U.S. Office of Government Ethics,
Suite 500, 1201 New York Avenue NW., Washington, DC 20005-3917,
Attention: Paul D. Ledvina, Agency Clearance Officer.
FOR FURTHER INFORMATION CONTACT: Mr. Ledvina at the U.S. Office of
Government Ethics; telephone: 202-482-9247; TTY: 800-877-8339; FAX:
202-482-237; Email: pledvina@oge.gov. The model Certificate of
Independence and model Certificate of Compliance for qualified trusts
are codified in appendixes A and B to 5 CFR part 2634. Appendix C of 5
CFR 2634 provides the Privacy Act Statement for the model certificates.
Copies of the proposed modified qualified trust model certificates and
the model trust documents may be obtained, without charge, by
contacting Mr. Ledvina.
SUPPLEMENTARY INFORMATION: The Office of Government Ethics intends to
submit, after this first round notice and comment period, all twelve
qualified trust model certificates and model documents described below
(all of which are included under OMB paperwork control number 3209-
0007) for a three-year extension of approval by OMB under the Paperwork
Reduction Act (44 U.S.C. chapter 35). At that time, OGE will publish a
second paperwork notice in the Federal Register to inform the public
and the agencies. The current paperwork approval for the model
certificates and model trust documents, last granted by OMB in 2010, is
scheduled to expire at the end of February 2013. OGE is proposing minor
changes to the twelve qualified trust certificates and model documents
at this time. The proposed non-substantive changes will update
information in the forms to reflect OGE's recent amendments to the
executive branch regulation regarding qualified trusts in subparts D,
E, and Appendixes A and B of 5 CFR part 2634. See 77 FR 39123-39150
(July 2, 2012). Other changes will update agency telephone and FAX
contact numbers, and provide an updated Privacy Act Statement on the
model trust documents reflecting changes made to the OGE/GVT-1 System
of Records 2003-2012. See 68 FR 3097-3109 (January 22, 2003), as
corrected at 68 FR 24744 (May 8, 2003), 76 FR 24489-24490 (May 2, 2011)
and 77 FR 45353 (July 31, 2012). However, these Privacy Act updates to
OGE/GVT-1 have not been incorporated into the current version of the
Privacy Act Statement, 5 CFR part 2634 appendix C, covering the
Certificate of Independence and Certificate of Compliance, 5 CFR part
2634 appendixes A and B. OGE will continue to inform users of the
certificates of the updates to the Privacy Act Statement.
OGE is the supervising ethics office for the executive branch of
the Federal Government under the Ethics in Government Act of 1978
(EIGA). Presidential nominees to executive branch positions subject to
Senate confirmation and any other executive branch officials may seek
OGE approval for EIGA qualified blind or diversified trusts as one
means to be used to avoid conflicts of interest.
OGE is the sponsoring agency for the model certificates and model
trust documents for qualified blind and diversified trusts of executive
branch officials set up under section 102(f) of the Ethics in
Government Act, 5 U.S.C. app. Sec. 102(f), and OGE's implementing
financial disclosure regulations at subpart D of 5 CFR part 2634. The
various model certificates and model trust documents are utilized by
OGE and settlors, trustees and other fiduciaries in establishing and
administering these qualified trusts.
There are two categories of information collection requirements
that OGE plans to submit for renewed paperwork approval, each with its
own related reporting model certificates or model trust documents which
are subject to paperwork review and approval by OMB. The OGE regulatory
citations for these two categories, together with identification of the
forms used for their implementation, are as follows:
i. Qualified trust certifications--5 CFR 2634.404(f) and (g),
2634.405(c) and (d), 2634.407, 2634.408(d)(4), 2634.410, 2634.414 and
appendixes A and B to part 2634 (the two implementing forms, the
Certificate of Independence and Certificate of Compliance, are codified
respectively in the cited appendixes); and
ii. Qualified trust communications and model provisions and
agreements--5 CFR 2634.404(f), 2634.407(a), 2634.408(a)-(c), 2634.407
and 2634.414 (the ten implementing forms are the: (A) Blind Trust
Communications (Expedited Procedure for Securing Approval of Proposed
Communications); (B) Model Qualified Blind Trust Provisions; (C) Model
Qualified Diversified Trust Provisions; (D) Model Qualified Blind Trust
Provisions (For Use in the Case of Multiple Fiduciaries); (E) Model
Qualified Blind Trust Provisions (For Use in the Case of an Irrevocable
Pre-Existing Trust); (F) Model Qualified Diversified Trust Provisions
(Hybrid Version); (G) Model Qualified Diversified Trust Provisions (For
Use in the Case of Multiple Fiduciaries); (H) Model Qualified
Diversified Trust Provisions (For Use in the Case of an Irrevocable
Pre-Existing Trust); (I) Model Confidentiality Agreement Provisions
(For Use in the Case of a Privately Owned Business); and (J) Model
Confidentiality Agreement Provisions (For Use in the Case of Investment
Management Activities)).
The communications formats and the confidentiality agreements
(items ii.(A), (I) and (J) above), once completed, would not be
available to the public because they contain sensitive, confidential
information. All the other completed model trust certificates and model
trust documents (except for any trust provisions that relate to the
testamentary disposition of trust assets) are retained and made
publicly available based upon a proper request under EIGA (by filling
out an OGE Form 201 access form) until the periods for retention of all
other reports (usually the OGE Form 278 Public Financial Disclosure
Reports) of the individual establishing the trust have lapsed
(generally six years after the filing of the last other report). See 5
CFR
[[Page 76294]]
2634.603(g)(2) of OGE's executive branch financial disclosure
regulation.
The U.S. Office of Government Ethics administers the qualified
trust program for the executive branch. At the present time, there are
no active filers using the trust model certificates and documents.
However, OGE intends to submit to OMB a request for extension of
approval for two reasons. First, under OMB's implementing regulations
for the Paperwork Reduction Act, at 5 CFR 1320.3(c)(4)(i), any
recordkeeping, reporting or disclosure requirement contained in a
sponsoring agency rule of general applicability is deemed to meet the
minimum threshold of ten or more persons. Second, OGE does anticipate
possible limited use of these forms during the forthcoming three-year
period 2013-2016. Therefore, the estimated burden figures, representing
branchwide implementation of the forms, will remain the same as
previously reported by OGE in its prior first and second round
paperwork renewal notice for the trust forms in 2009 (74 FR 47799-47801
(September 17, 2009) and 74 FR 62780-62782 (December 1, 2009)). The
estimate is based on the amount of time imposed on a trust
administrator or private representative.
i. Trust Certificates:
A. Certificate of Independence: Total filers (executive branch): 5;
private citizen filers (100%): 5; private citizen burden hours (20
minutes/certificate): 2.
B. Certificate of Compliance: Total filers (executive branch): 10;
private citizen filers (100%): 10; private citizen burden hours (20
minutes/certificate): 3; and
ii. Model Qualified Trust Documents:
A. Blind Trust Communications: Total users (executive branch): 5;
private citizen users (100%): 5; communications documents (private
citizens): 25 (based on an average of five communications per user, per
year); private citizen burden hours (20 minutes/communication): 8.
B. Model Qualified Blind Trust: Total users (executive branch): 2;
private citizen users (100%): 2; private citizen burden hours (100
hours/model): 200.
C. Model Qualified Diversified Trust: Total users (executive
branch): 1; private citizen users (100%): 1; private citizen burden
hours (100 hours/model): 100.
D.-H. Of the five remaining model qualified trust documents: Total
users (executive branch): 2; private citizen users (100%): 2; private
citizen burden hours (100 hours/model): 200.
I.-J. Of the two model confidentiality agreements: Total users
(executive branch): 1; private citizen users (100%): 1; private citizen
burden hours (50 hours/agreement): 50.
However, the total annual reporting hour burden on filers
themselves is zero and not the 563 hours estimated above because OGE's
estimating methodology reflects the fact that all respondents hire
private trust administrators or other private representatives to set up
and maintain the qualified blind and diversified trusts. Respondents
themselves, typically incoming private citizen Presidential nominees,
therefore incur no hour burden. The estimated total annual cost burden
to respondents resulting from the collection of information is
$1,000,000. Those who use the model documents for guidance are private
trust administrators or other private representatives hired to set up
and maintain the qualified blind and diversified trusts of executive
branch officials who seek to establish such qualified trusts. The cost
burden figure is based primarily on OGE's knowledge of the typical
trust administrator fee structure (an average of 1 percent of total
assets) and OGE's experience with administration of the qualified trust
program. The $1,000,000 annual cost figure is based on OGE's estimate
of an average of five possible active trusts anticipated to be under
administration for each of the next two years with combined total
assets of $100,000,000. However, OGE notes that the $1,000,000 figure
is a cost estimate for the overall administration of the trusts, only a
portion of which relates to information collection and reporting. For
want of a precise way to break out the costs directly associated with
information collection, OGE is continuing to report to OMB the full
$1,000,000 estimate for paperwork clearance purposes.
Public comment is invited on each aspect of the model qualified
trust certificates and model trust documents, and underlying regulatory
provisions, as set forth in this notice, including specific views on
the need for and practical utility of this set of collections of
information, the accuracy of OGE's burden estimate, the potential for
enhancement of quality, utility and clarity of the information
collected, and the minimization of burden (including the use of
information technology).
Comments received in response to this notice will be summarized
for, and may be included with, the OGE request for extension of the OMB
paperwork approval for the set of the various existing qualified trust
model certificates, the model communications package, and the model
trust documents. The comments will also become a matter of public
record.
Approved: December 20, 2012.
Don W. Fox,
Acting Director, Office of Government Ethics.
[FR Doc. 2012-31140 Filed 12-26-12; 8:45 am]
BILLING CODE 6345-03-P